chapter 200 – processing permits table of contents...chapter 200 – processing permits . table of...

Chapter 200 – Processing Permits

ENCROACHMENT PERMITS MANUAL CURRENT AS OF: 10/2020 © 2020 California Department of Transportation. All Rights Reserved

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Table of Contents 201 APPLICATION PROCEDURE.................................................................................... 1

201.1 Application Forms and Documents (Rev 04/2019) ....................................................... 1

201.2 Permit Application Fee (Rev 10/2020) ......................................................................... 1

201.2A Fee Exempt Encroachment Permits........................................................................ 2

201.2B Fee Calculations ..................................................................................................... 4

201.2C Billing and Past Due Accounts ............................................................................... 7

201.3 Refunds .......................................................................................................................... 9

201.4 Tracking / Permit Number ........................................................................................... 10

201.5 Processing Encroachment Permit Applications (Rev 10/2020) .................................. 11

201.6 Tracking Permit Applications ..................................................................................... 14

202 REVIEW PROCESS ................................................................................................... 17

202.1 General Criteria for Evaluation of Encroachment Permit Applications (Rev 04/2018) ............................................................................................................. 17

202.1A Conflicting Permits ............................................................................................... 17

202.1B Location of Encroachment within the State Highway Right-of-Way (Rev 10/2020) ............................................................................... 18

202.1C Traffic Considerations (Rev 10/2020) .................................................................. 19

202.1D Traffic Control System Plan Changes .................................................................. 21

202.1E Traffic Unit Review .............................................................................................. 21

202.1F Field Review before Issuing Permit ..................................................................... 21

202.1G Other Reviews ...................................................................................................... 21

202.1H Lane Closure System (New 10/2020) .................................................................. 22

202.2 Approval Document (Rev 10/2020) ............................................................................ 22

202.2A Projects Requiring a Permit Engineering Evaluation Report (PEER) ...................................................................................................... 22

202.2B Projects Not Requiring a PEER ............................................................................ 23

202.3 Quality Management Assessment Process (Previously “Oversight Projects”) ........... 24



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202.3A Cooperative and Highway Improvement Agreements (Rev 10/2020) ....................................................................................................... 24

202.3B Issuing Encroachment Permits for QMAP Projects (Rev 10/2020) ..................... 25

202.3C Public Transit Projects (Rev 10/2020) ................................................................. 25

202.3D Project Development Procedures ......................................................................... 25

202.4 Traffic Controller Assemblies ..................................................................................... 26

202.5 Registered Engineer’s Seal and Signature (Rev 10/2020) .......................................... 27

202.5A Registered Engineer’s Seal and Signature on Utility Plan Sheets (Rev 10/2020) ....................................................................................................... 27

202.5B Contractor’s License (New 10/2020) ................................................................... 28

202.6 Materials Testing ......................................................................................................... 28

203 PERMIT FORM AND PROVISIONS ....................................................................... 29

203.1 Encroachment Permit General Provisions ................................................................... 30

203.2 Encroachment Permit Special Provisions .................................................................... 30

203.3 Liability Insurance ....................................................................................................... 30

203.3A Encroachment Permits Requiring Liability Insurance (Rev 10/2020) ....................................................................................................... 30

203.3B General Requirements for Liability Insurance (Rev 10/2020) ............................. 30

203.3C Claims ................................................................................................................... 31

203.4 Surety Bonds ............................................................................................................... 31

203.5 Cal/OSHA Safety Requirements ................................................................................. 33

204 DENYING PERMIT APPLICATIONS ..................................................................... 34

204.1 Denial for Time Limit Considerations ........................................................................ 35

204.2 Appeals ........................................................................................................................ 36

205 APPROVING AND ISSUING PERMITS ................................................................. 36

205.1 Permits Approved by Districts .................................................................................... 36

205.1A Issuing the Permit Package ................................................................................... 37

205.2 Permits Requiring Pre-Application Approval ............................................................. 38

205.3 Federal Highway Administration (FHWA) Approval (Rev 10/2020) ........................ 39

205.4 Amendments to Permits (Riders) (Rev 10/2020) ........................................................ 39

206 PERMIT INSPECTION AND ENFORCEMENT (Rev 10/2020) ............................. 40

206.A Citing of Permit Violations ......................................................................................... 40



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206.B Suspension of Permits ................................................................................................. 41

206.C Revocation of Permits ................................................................................................. 42

206.1 Encroachment Permit Report (Diary) .......................................................................... 42

206.2 Responsibilities of Permittee ....................................................................................... 43

206.2A As-Built Plans and Other Completion Records (Rev 10/2020)............................ 43

206.2B Notice of Completion (Form TR-0128) ............................................................... 46

206.3 Unauthorized Encroachments ...................................................................................... 47

206.4 Retention of Permit Records ....................................................................................... 49

206.4A Closing Permit Files ............................................................................................. 49

207 TIME REPORTING AND CHARGING INSTRUCTIONS ...................................... 50

207.1 Project Code, Phase, Reporting, and Sub Object Codes ............................................. 50

207.2 Specific Instructions for Inspection Staff .................................................................... 51



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Chapter 200 Processing Permits This chapter describes the requirements and procedures for processing an Encroachment Permit Application Package (EPAP) which includes the “Standard Encroachment Permit Application” (form TR-0100), appropriate checklist(s), associated forms, plans, supporting documentation, and applicable fees.

201 APPLICATION PROCEDURE Applicants (or their authorized representatives whose authority is validated by a letter) must submit their EPAP to the appropriate District Encroachment Permits Office having jurisdictional authority over the proposed encroachment site for processing. To reduce processing times, applicants are encouraged to submit their EPAP by e-mail, but may also submit their EPAP by mail or in person.

When Caltrans requires relocation of an existing utility, the District’s Division of Right of Way initiates the Notice to Owner process described in Section 601.

201.1 Application Forms and Documents (Rev 04/2019) The “Standard Encroachment Permit Application” (form TR-0100), instructions, plan set requirements, sample application checklists, related forms, and where to submit the EPAP can be found at:

https://dot.ca.gov/programs/traffic-operations/ep/applications

Additional supporting documentation may be required depending on the scope of work such as plans, location map, letter of authorization, environmental documentation, storm water permit(s), certification of compliance with the Americans with Disabilities Act, surety bonds, liability insurance, etc.

Applications for filming, salvage operations, litter pickup, installation and removal of tire chains, and roadside maintenance within State Highway right-of-way are addressed in specific sections of Chapters 500 and 600. The applications and forms for these types of permits vary from the Standard Encroachment Permit forms.

201.2 Permit Application Fee (Rev 10/2020) Caltrans has established an “Encroachment Permit Fee Schedule” (form TR-0166) (see Appendix H) and charges a fee for the issuance of encroachment permits, except to public corporations (see Section 201.2A).

All payments should be made to the District’s or Headquarters’ Cashiering Office for deposit into the State Highway Account. Checks for payment of permit fees or deposits must be made payable to “California Department of Transportation”. The Cash Handling Policy and Credit

https://dot.ca.gov/programs/traffic-operations/ep/applications



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Card Security Policy are described in detail in Accounting Bulletins. The District Encroachment Permits Office must remit all payments (coin, currency, checks, warrants) to the District Cashier’s Office by the next business day. The District Encroachment Permits Office must log all payments in the Encroachment Permits Management System (EPMS) and on the “Encroachment Permit Log” (form TR-0111) (see Section 201.2C).

1. Utility Permits

Utility companies under the jurisdiction of the California Public Utilities Commission have been granted deferred billing and receive Progress Billing statements from the HQ Division of Accounting on a monthly or quarterly basis when supported by a “Progress Billing/Permit Closure” (form TR-0129) provided by the District. Utility companies in bankruptcy proceedings are not granted deferred billing status and fees are collected prior to permit issuance. A final bill is sent to HQ Accounting if fees are owed at the end of the project. The HQ Division of Accounting will not issue Progress Billing invoices to a utility company unless Accounting receives a completed “Progress Billing/Permit Closure” (form TR-0129) from the District Encroachment Permits Office. All staff must record their time expended on the Diary page in EPMS and /or on the “Encroachment Permit Report (Diary)” (form TR-0130) for each permit, to assist the District Encroachment Permits Office in maintaining accurate records of all time expended on permits.

A “Progress Billing/Permit Closure” (form TR-0129) is used to record all inspection costs and to close out a permit file. It must be signed and dated by the District Permit Engineer or the District Permit Engineer’s authorized representative, or by the District Resident Engineer (RE) when applicable. It is then submitted to the HQ Division of Accounting for billing purposes.

2. Annual / Biennial Permits

These permits are issued on a yearly or two-year basis for conventional highways. Fees for Annual / Biennial Permits are charged a minimum of two hours of review to recover the time expended in the office for processing and administration. These permits allow public corporations, utility companies, and in some cases private corporations (ex. survey permits), the ability to perform everyday routine tasks without having to apply continuously for multiple permits.

201.2A Fee Exempt Encroachment Permits The “Encroachment Permit Fee Schedule” (form TR-0166) (see Appendix H) indicates how fees are assessed for the different types of permits and those permits which are fee exempt. Contractors are to pay a fee under a Double Permit (DP Permit) when working for a fee exempt agency (public corporation). An exception to this policy occurs when the project is subsidized with State and/or Federal Highway funds (see Administratively Exempt Permits, below in this section). Fee exemption categories are as follows:



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1. Statutorily Fee Exempt Encroachment Permits

Public corporations are statutorily exempt from encroachment permit fees (Streets and Highways Code section 671.1). However, contractors working for public corporations are not exempt from fees (see Section 501.14). Caltrans’ expenses for inspection costs are recovered by charging fees to the contractor. Public corporations created for governmental purposes where the whole interest belongs to the government may be billed directly for inspection costs (as opposed to billing the contractor through the Double Permit) upon the public corporation’s request or when authorized by a cooperative agreement.

A private corporation is organized for private purposes and/or for profit.

Examples of public corporations are listed as follows:

• Federal and State Government • Counties • Incorporated cities and towns • All municipal corporations, including:

o Community Service districts o Road improvement districts o Irrigation districts o Reclamation districts o Utility districts o County water districts o Incorporated school districts o Sanitation and lighting districts o Special district libraries

• Agricultural associations 2. Administratively Fee Exempt Encroachment Permits

Some encroachment permit fees are waived by Caltrans’ policy. These permits are referred to as administratively exempt. Headquarters approval must be obtained for administratively exempt permits other than those listed below. Authority to waive fees is delegated to the Districts under the following types of administratively exempt permits and activities:

• Adopt-A-Highway Program • Airspace rental (AS permits) • Borrow or disposal areas used by a State contractor with approval in their contract

to borrow or dispose within State Highway right–of-way outside of contract limits • Crop identification signs installed through the California Farm Bureau

Federation’s Crop Identification Program



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• Double Permits (DP Permits) issued for projects subsidized with any State and/or Federal Highway Funds

• Projects managed through the Quality Management Assessment Process (QMAP - Previously Oversight Process) (Project Manager will manage fees through a cooperative agreement)

• Double Permit (DP Permits) for utility tree trimming • Entities with prior property rights providing for the encroachment (e.g. railroads) • Environmental Enhancement projects • Flags of the United States and the State of California displayed on sidewalks • Landscape Maintenance (LM Permits) • Locally funded project identification signs • Mail and newspaper delivery boxes or newspaper vending machines

(MB Permits) • Permits for utility ownership that are installed by developers • Memorial/Historical plaques and Blue Star memorial highway markers authorized

by legislative resolution, at approved location sites • Native American Tribal developments or activities (associated with reservations

or Rancherias) • Projects authorized by a “Consent Letter” (Appendix D) • Railroad crossing maintenance (RX Permits) • Required construction signs outside State or locally funded contract project limits • State ordered utility relocation covered by a Notice to Owner issued by District

Right of Way (UR Permits) • Transportation Art Program permits (AP Permits) • Caltrans initiated rider (RD Permits) • Municipal Parades by community-based nonprofit organizations

(see Section 514.1, “Special Events”) commemorating recognized governmental holidays (Federal, State, and/or local). Any other parade or special event by a nonprofit organization requires permit fees. With City/County support for this type of special event, the District Permit Engineer may issue a permit. Approval of the special event must be as described in Section 514.1.

201.2B Fee Calculations Encroachment permit fees are calculated in the “Encroachment Permit Fee Calculation Sheet” (form TR-0406). The total encroachment permit fee is derived from the following components:

1. Review and Inspection Fee 2. Hourly Rate 3. Field Work Fee 4. Bridge Tolls Fee 5. Miscellaneous Fees



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The components are described as follows:

1. Review and Inspection Fee

The hours for review and inspection are established by one of two methods:

• Set Fee Hours—SF • Actual Fee Hours—AX

Actual review hours include time expended for review, and all time expended to process and administer the permit application. A minimum charge of one (1) hour applies to all permit applications and is included in the review hours shown on the “Encroachment Permit Fee Schedule” (form TR-0166).

a. Set Fee Hours (SF)

Numeric hours shown on the “Encroachment Permit Fee Schedule” (form TR-0166) for specific types of permits are set based on previous hours charged for similar permit types. Permit types using the SF fee method have numeric predetermined fixed hours for both review and inspection time.

Districts may change permits from “Set Fee” (SF) to “Actual Fee” (AX) at the discretion of the District Permit Engineer, but under no circumstances should the AX hours be less than the SF hours.

b. Actual Cost Permit Fee (AX)

The AX fee method uses the actual time expended for project and/or activity review and/or inspection. The billing statement used to collect costs for services is an executed “Progress Billing/Permit Closure” (form TR-0129) signed and dated by the District Permit Engineer, an authorized representative, or the District Resident Engineer (RE) when applicable. After the permit is issued, progress billings may be sent out for additional actual review and/or inspection hours worked.

Encroachment permits having an AX charge code require that a reasonable deposit for project review and inspection be collected at the time the permit application is submitted. The collection of costs for actual review hours expended and estimated inspection hours is required before the permit is issued.

When the initial deposit is expended, subsequent fees are estimated and collected as costs are incurred during the project or after project completion and before release of the bond.

A final bill for a permit using the AX fee method is generated from an executed “Progress Billing/Permit Closure” (form TR-0129) and sent to HQ Division of Accounting for billing purposes. The “Progress Billing/Permit Closure” (form TR-0129) is signed and dated by the District Permit Engineer or the District Permit



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Engineer’s an authorized representative, or by the District Resident Engineer (RE) when applicable, indicating that it is for a final bill.

2. Hourly Rate

Each fiscal year, the HQ Division of Accounting submits a proposed Hourly Rate to the HQ Office of Encroachment Permits. The Hourly Rate is determined by calculating labor and operating expenses posted against the Project IDs designated by HQ Encroachment Permits to be included in the Hourly Rate calculation. The Indirect Cost Rate is applied to the labor expenses and included in the Hourly Rate calculation by HQ Accounting. The Hourly Rate is used for calculating encroachment permit fees.

3. Field Work Fee (Anticipated by Caltrans’ forces)

A Maintenance crew or a Traffic Operations team performing traffic control as a function of the encroachment permit is an example of field work. The Permit Engineer obtains an estimate of the hours from the appropriate Caltrans unit(s) who will perform the field work. This field work fee or deposit is collected from the applicant after review and before the permit is issued. Payment is required at the conclusion of the field work if there is a balance owed to Caltrans.

Unplanned Caltrans field work costs resulting from spilled loads, traffic control, or emergencies such as ongoing projects or traffic accidents, are generally recovered by Maintenance and/or Traffic Management staff by submitting billing forms to the HQ Division of Accounting for processing outside of the encroachment permit process.

4. Bridge Toll Fee

A bridge toll fee is collected for use of a toll bridge during a special event. The bridge toll fee is equivalent to that charged for a seven-axle truck (see Section 514, “Special Events”).

5. Miscellaneous Fees

a. Department-Furnished Materials

The cost of materials purchased or supplied by Caltrans to be used on encroachment permit projects (i.e., traffic signal controllers, lighting, etc.).

b. Transportation Laboratory Inspection Cost

The fee for inspection work or laboratory testing by the Division of Engineering Services, Office of Materials Engineering and Testing Services (METS), must be at the hourly rate multiplied by the current “Standard Average Hours” published by the Transportation Laboratory. Districts with work not shown on the “Standard Average Hours” publication must contact the Transportation Laboratory directly for an estimate.



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c. QMAP Projects

Encroachment Permits staff hours for QMAP Projects (see Section 108.1 of this manual) are charged directly to the QMAP Project’s project code. Check the Highway Improvement or Cooperative Agreement for a fee exemption; many sales tax and local projects are fee exempt.

The total fee is the sum of the fee components. The District Permit Engineer records all hours and calculations on the “Encroachment Permit Fee Calculation Sheet” (form TR-0406). The District Permit Engineer ensures review hours are reported on the “Encroachment Permit Application Review” (form TR-0110) and the “Permit Engineering Evaluation Report” (PEER) (form TR-0112).

201.2C Billing and Past Due Accounts When a progress payment or final payment for an encroachment permit project is due, the Permit Engineer sends a “Progress Billing/Permit Closure” (form TR-0129) signed and dated by the District Permit Engineer, an authorized representative, or the District Resident Engineer (RE) when applicable, indicating the billing or refund information and a copy of the performance or payment bond, if any, to the HQ Division of Accounting who then bills or refunds the permittee. The “Progress Billing/Permit Closure” (form TR-0129) should indicate the work completion date. Any legal action to recover for the unpaid amounts must be commenced within four years from the accrual of the cause of action (which could be the billing/invoice date, the work completion date, or other date depending on the circumstances), therefore timely billing/invoicing and diligent follow-up to receive payment are important (see California Code of Civil Procedure section 337). Accounting receives a copy of the “Encroachment Permit Log” (form TR-0111), which the District Encroachment Permits Office uses to chronologically record accepted permit applications, payments, and refunds. Log use is shown in Table 2.1.



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Table 2.1 Encroachment Permit Log Form Use

1. A copy of the “Encroachment Permit Log” (form TR-0111) and all billing or refund requests, as listed on the log, should be e-mailed weekly to Accounts Receivable in the HQ Division of Accounting. It is not necessary to begin a new log sheet each week after sending the copy.

2. Continue to use the first column for all encroachment permit numbers assigned to applications when they are accepted (logged in). These will be in chronological order from the beginning of each year. In the designated columns, enter the applicant’s name, location of work, payment type, amount of any deposit/fee paid to the District Cashier, and date logged in.

3. When a deposit/fee is paid to the District Cashier after the initial deposit, a refund is requested, or a billing document is sent to Accounts Receivable for progress/final billing, use the next available line on the current sheet. Use the second column to enter the permit number for the payment or billing. Use the sixth column for the amount of the billing or payment to the District Cashier. Use the seventh column for the date payment was received by the cashier--for refunds, show a negative amount in the sixth column. No other columns need to be completed.

If the bill is not paid within 30 calendar days from the bill date, the HQ Division of Accounting will send a past due notice to the permittee. If still not paid, a second past due notice is sent after 60 calendar days from the bill date. Both past due notices request payment and inform the permittee that if the account remains unpaid, it may be subject to collection activities from a private collection agency. The HQ Division of Accounting monthly sends a list of permittees with past due accounts to the HQ Encroachment Permits Office and the appropriate District Encroachment Permits Office. Each District Encroachment Permits Office will maintain a list of permittees with past due accounts and inform them when they apply for a new permit that new permits may not be issued until resolution of past due accounts with the HQ Division of Accounting.

The District Permit Engineer is responsible for assisting the Division of Accounting in the collection of encroachment permit fees. For significant backlog of past due accounts, the District may:

1. Require upfront payment of fees; 2. Require a payment/performance bond; 3. Revoke annual maintenance permits and require separate permits for each work element; 4. For those not given the right to a permit by law, deny encroachment permit applications.

The District must include the performance and payment bonds with billings sent to HQ Division of Accounting for all past due accounts. When provided by the District, the performance bond information will be used by the HQ Division of Accounting to attempt to collect the past due amount from the bonding company before sending the account to a collection agency. Most performance and payment bonds expire a year after Caltrans accepts the work as complete.



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Therefore, the District should send the “Progress Billing/Permit Closure” (form TR-0129) and the performance/payment bond to HQ Division of Accounting before the bond expires.

All past due accounts may be turned over to a collection agency after 180 calendar days from the bill date unless arrangements have been made through the District Permit Engineer for full payment of the account. The arrangements must be acceptable to the HQ Division of Accounting. After four (4) years have lapsed since the permit completion date, statutes prohibit the invoice and supporting documentation of the “Progress Billing/Permit Closure” (form TR-0129) from being turned over to a collection agency.

201.3 Refunds A refund is provided when the total deposits exceed Caltrans’ expenses associated with the permit. A minimum cost of one hour’s time at the current Hourly Rate is retained as an application-processing fee when a refund is appropriate. The District Encroachment Permits Office must refund all fees for improperly accepted applications (Table 2.2 indicates the refund of permit fees when appropriate for various circumstances of permit applications). Refunds must be documented on the “Progress Billing/Permit Closure” (form TR-0129) signed and dated by the District Permit Engineer, an authorized representative, or the District Resident Engineer (RE) when applicable. The completed “Progress Billing/Permit Closure” (form TR- 0129) must be sent to HQ Division of Accounting, to the attention of the Accounts Receivable Branch-Encroachment Permits.

The date and amount of the original transaction, copies of any checks, along with all account information, should be indicated on the “Progress Billing/Permit Closure” (form TR-0129).

The HQ Division of Accounting will issue a refund to the payer, or, in cases where there are multiple parties (permittee, authorized agent/contractor), the refund will be issued to the party who made the payment unless written mutual documentation (between the permittee and their authorized agent/contractor) indicates that the refund should be issued to the other party.

In accordance with California Government Code section 13144, refunds exceeding $10,000 generally require approval by the California Department of Finance and the California State Controller’s Office. The following documentation is required:

• Copy of the payment instrument (usually a check) • Accounting transaction showing check number, name of payer, and dollar amount • Calculation of refund amount due

If the HQ Division of Accounting cannot locate the payer or the payer’s address, then the refund is deposited back into the State Highway Account. Permit fees may be refunded as shown in the table, depending upon the status of the permit application.



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Table 2.2 Refund of Permit Fees

Status of Permit Application Appropriate Refund A SF (Set Hours) permit is denied as a result of the review process.

The unexpended portion of the total fee collected for inspection, field work, bridge tolls, and miscellaneous fees.

An AX (Actual Hours) permit is denied as a result of the review process.

That portion of the fees that represents collected but unexpended review and inspection fees.

The applicant cancels the permit application before a permit is issued.

The collected but unexpended review and inspection fees.

The permittee cancels the permit after the permit is issued but before work has started.

That portion of the total fee collected that represents inspection and field work.

The permittee cancels the permit after the permit is issued and after work has started.

None.

201.4 Tracking / Permit Number Immediately upon receiving an EPAP, a new EPMS record should be created by entering the information from the EPAP into the EPMS and entering the “Application Received Date.” For new EPMS records, the default tracking number code is “X” for the billing type and permit type. After the EPAP is accepted as complete, change the default “X’s” to the appropriate billing type and permit type which completes the permit number. Simplex stamps are no longer used. Encroachment permit numbers conform to the following format:

DDYY-BPP-NNNN Example: 0320-6SE-0260

District (DD): Two-digit District Number (01 through 12).

Year (YY): Last two digits of the calendar year in which the permit application is assigned a chronological number.

Billing Type Code (B):

One of four characters:

6 for Caltrans fee permits 7 for permits issued by Cities and Counties (see Section 500.4) N for Fee Exempt permits A for Administrative permits (see Sections 500.0 and 600.0)

Permit Type Code (PP):

A two-alpha character designation that describes the type of encroachment, as shown in the “Encroachment Permit Fee Schedule” (form TR-0166).



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Chronological Number (NNNN):

A four digit, chronological number from 0001 to 9999, starting with 0001 each calendar year. The EPMS automatically assigns the chronological number when a new permit record is created.

201.5 Processing Encroachment Permit Applications (Rev 10/2020) In accordance with California Streets and Highways Code section 671.5, subdivision (a), Caltrans is required to either approve or deny an EPAP within 60 calendar days upon determination by Caltrans that the EPAP is complete.

California Streets and Highways Code section 671.5 grants Caltrans authority to determine what constitutes a complete EPAP. The District Permit Engineer acts on behalf of the District Director in making that determination. All applicable federal and State statutory requirements, including but not limited to Storm Water, Americans with Disabilities Act (ADA), and environmental documents for the National Environmental Protection Act (NEPA) and California Environmental Quality Act (CEQA) must be complied with prior to an EPAP being deemed complete. Encroachment Permit Application Checklists are used by both applicants and Encroachment Permits Staff to determine the completeness of an EPAP.

The Encroachment Permit Application Checklists are available at:

http://www.dot.ca.gov/trafficops/ep/apps.html

The Office of Encroachment Permits has established processes to ensure compliance with the 30-calendar day Encroachment Permit Program performance target and the 60-calendar day statutory requirement. These functions include:

1. Preliminary meetings 2. The Encroachment Permits Management System (EPMS) database (see Section 201.6) 3. A response time goal of 30-calendar days or less for most EPAPs. The process, actions

and timelines are as follows:

PROCESS ACTIONS DAYS TOTAL DAYS

1. Login Permit Engineer enters EPAP into EPMS and EPMS assigns a tracking number

2 2

2. Screen Permit Engineer screens the EPAP 2 4 (Screen) (a) Sends Acknowledgement Letter - Acceptance if

EPAP meets screening criteria, or 0 0

(Screen) (b) Sends Acknowledgement Letter** - Rejection if EPAP fails to meet screening criteria, or

0 0

(Screen) (c) If accepted, circulates EPAP for review by functional units

0 0

3. Review Functional units review EPAP and send comments to Permit Engineer

8 12

http://www.dot.ca.gov/trafficops/ep/apps.html



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PROCESS ACTIONS DAYS TOTAL DAYS

4. Notify Permit Engineer notifies applicant 2 14 (Notify) (a) Approves EPAP and issues permit, or 0 0 (Notify) (b) Notifies applicant that revisions, additional

information, and/or documentation is required (10-day Revision Letter)**, or

0 0

(Notify) (c) Denies EPAP and sends the Firm Denial/Appeal Letter**

0 0

5. Respond* Applicant must meet schedule by responding to the notification within 10 days if revisions, additional information, and/or documentation is required

10 24

6. Final Resubmittal with revisions is reviewed and Permit Engineer either approves or denies the EPAP

6 30

(Final) (a) Approves EPAP and issues permit if applicant meets schedule and required revisions, additional information, and/or documentation is acceptable, or

0 0

(Final) (b) Denies EPAP if applicant meets schedule but required revisions, additional information, and/or documentation is not acceptable (Firm Denial/Appeal letter)**, or

0 0

(Final) (c) Closes abandoned file after 60-days from denial date if applicant does not meet schedule.

0 0

*Applicant’s responsibility

**Districts must request an acknowledgment of receipt from the applicant by e-mail response and document acknowledgment response in the permit file. If acknowledgement is not received, the district must follow-up by mailing the notification by certified mail if the letter states the application is denied.

Applicants are encouraged to submit their EPAP via e-mail. A digital EPAP will enable the District Encroachment Permits Office to enhance our quality service, increase efficiency, and reduce paper waste. All the steps in the process can be completed via e-mail using digital copies of the EPAP and permit documents. However, the applicant/applicant’s agent must furnish to Caltrans the original completed and signed application in paper format, upon request.

To increase the quality of EPAPs, the District Permit Engineer may approve staff time to meet with prospective applicants to assist in submitting a complete EPAP. Except in the case of some utilities, typically applicants must pay fees prior to Caltrans expending staff resources. However, preliminary meetings should decrease the amount of re-work and ultimately decrease the cost of issuing a permit. This consultation shall not exceed one meeting. The staff time from this consultation are not charged to the applicant.

For projects that are large in scope or have other challenges (including but not limited to intersection improvements, exceptions to policy and/or design standards, environmental impacts,



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etc.), the applicant must contact the District Permit Engineer for a pre-permit application meeting that will include the applicant, the applicant's engineers, and applicable Caltrans personnel. Prior to the meeting, the applicant will provide the District Encroachment Permits Office draft design plans and supporting documents so Caltrans can understand the project’s scope, unique needs, evaluate feasibility, identify the applicable requirements, review process, and stakeholders’ expectations. Permit types: CD, CS, DD, LC, LF, MC, RC, RP, and SN are typically involved. Please note that a pre-permit application meeting is to provide direction to the applicant for a successful project and is not a project review meeting for determining approval or denial of a project. Permit writers must schedule this mandatory pre-permit application meeting before an EPAP is accepted if the applicant fails to do so.

Login - As soon as the EPAP is received, the application information must be entered into EPMS, at which time EPMS assigns a tracking number. The date the EPAP was received by Caltrans must be recorded in EPMS (see Section 201.6) as the “Application Received Date.” The “Application Received Date” reflects the date on which an EPAP is received in the District Encroachment Permits Office or one of its field offices and is not the same as the “Date of Acceptance” (although the two dates may coincide). The “Application Received Date,” along with the “Date of Acceptance” recorded in EPMS, provides useful information to respond to project related queries and assists management to ensure EPAPs receive timely screenings.

Screen - If the application is delivered in person, the application should be screened for completeness by using an encroachment permit checklist and accepted as complete or rejected as incomplete for specific reasons while the applicant is present, if possible. If the application is received via mail or e-mail, the screening review time should not exceed two (2) business days.

After screening the EPAP for completeness, the Permit Engineer must send a letter to the applicant, acknowledging receipt of the EPAP and stating whether the application has been deemed complete or incomplete. The standard acknowledgement letter templates are available on the Encroachment Permits intranet site.

If the EPAP is rejected as incomplete during the screening process, the Permit Engineer must send a letter to the applicant acknowledging receipt of the EPAP and provide a list of reasons why the EPAP is incomplete. Return the applicant’s check or payment deposit and inform the applicant that their documents will be discarded unless a request is made for pickup. An applicant’s resubmittal of a rejected EPAP is logged into EPMS as a new EPAP.

Review - When the EPAP is accepted as complete, the Permit Engineer will distribute the EPAP to the necessary Caltrans functional units to review for compliance with policy, design, and construction standards. The functional units must review the EPAP and provide a permit issuance/denial recommendation and comments to the Permit Engineer within eight (8) calendar days from the date of distribution. Based on the functional units’ recommendations, the Permit Engineer compiles the comments and determines to either approve or deny an encroachment permit.



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Notify - If additional information, revisions, or supporting documentation is needed, the Permit Engineer must send a letter (10-day Revision Letter) to the applicant informing the applicant the application is denied based upon the need for additional information, revisions and/or supporting documentation. Since the 10-day Revision Letter denies the permit if a response is not received, verification of the date the letter is sent to the applicant is required to track the 60-calendar day appeal period.

If the EPAP is approved, the draft permit package is compiled, reviewed, and approved. The permittee is notified by email that the permit is approved, and the permit package is attached.

If the EPAP is denied due to noncompliance with federal or State statutes or Caltrans’ standards and/or policies, a Firm Denial/Appeal Letter must be sent to the applicant detailing the reason(s) for the denial and instructions on the appeal process (see Section 304). The District Permit Engineer should notify the District Deputy Director and District Director prior to denying a permit on this basis. The Denial letter is emailed to the applicant and a return receipt is requested.

Respond - The applicant is given ten (10) calendar days to resubmit the EPAP with the requested revisions and/or additional information. The 10-day Revision Letter states that the EPAP is automatically denied unless a response is received within ten (10) days. If a resubmittal or a response is not received from the applicant by the given date, the EPAP will be deemed abandoned and closed. Allow for the appeal period of 60 calendar days after the denial date before closing the file and change the status in EPMS to “Closed.”

Final - If the applicant meets the schedule, the Permit Engineer will review and distribute the revised documents to the appropriate functional units for further review. If all documents are approved, the permit package is compiled, reviewed, and approved. The permittee is notified by email that the permit is approved, and the permit package is attached.

If the applicant meets the schedule, but the required revisions, additional information, and/or documentation is not acceptable, the applicant is notified by email that the EPAP has been denied. The Denial letter is emailed to the applicant and a return receipt is requested.

If the applicant does not meet the schedule, the file is considered abandoned and is closed after 60-days from the denial date. Change the status in EPMS to “Closed.”

201.6 Tracking Permit Applications The Encroachment Permits Management System (EPMS) is a database that contains encroachment permit data, provides efficiency in processing permits, and provides informational reports to Caltrans’ staff regarding the status of EPAPs and ongoing permits. It also provides information on resources expended on each individual permit. The database assists management to ensure that statutory deadlines are met, reviews are completed on time, and Caltrans recovers the full cost of administering permits.



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Districts are responsible for maintaining the integrity of the information in the database. Any unauthorized modifications to the database could result in non-retrievable functionality and loss of data. Any issues with the database must be reported immediately to the HQ Office of Encroachment Permits.

The District Permit Engineer assigns the responsibility of data input and maintenance of the database to members of their staff. These staff members may provide monthly reports to the District Permit Engineers with the most current information on the progress of EPAPs and existing permits that they handle (see Table 2.3).

Table 2.3 Procedures for Maintaining the EPMS and Tracking Applications/Permits

Basic steps for maintaining the EPMS and for tracking applications/permits are as follows:

1. Login - Immediately upon receipt, permit application information is entered into the EPMS to create a record. This step starts the performance goal period of 30 calendar days or less for permit approval or denial. The record should include pertinent information shown on the application, including:

• Permit writer (person coordinating review of the application) • Name of inspector (if known) • Tracking number • Project location (click on “map” to ensure a valid county, route, and post mile) • Estimated cost of work within State Highway right-of-way • Caltrans’ project code (ID) if applicable to the project • Applicant’s Reference Number /Utility Work Order Number • Description of proposed work (concise and detailed) • Excavation and underground work • Name of permittee, Authorized Agent, and Billing Contact • Set fee, deposit, or total fee (use as applicable on Edit Page) • Application Received Date (Entered on the Edit Page) • Performance Bond and Payment Bond numbers (when applicable on Edit Page) • Comments concerning the application (e.g., longitudinal encroachment, etc.)

2. When accepted as complete, enter (or change) acceptance date, billing code, and permit type. This step starts the 60-day statutory period for EPAP approval or denial.

3. Review – On the Reviews page enter the dates when review requests are sent to functional units. Request that functional units record their hours on the review form (fee based and fee exempt).

4. Enter the dates when review comments are returned to the District Encroachment Permits Office. Enter the review hours that were charged to the permit’s project code on the



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Reviews page. EPMS automatically fills in the hours on the “Progress Billing/Permit Closure” (form TR-0129) as required.

5. Each business day, the person responsible for maintenance of the EPMS prints the list of reviews that are past due and asks functional units to respond.

6. Notify - After all reviews are returned, if additional information or documents are required, respond in writing to the applicant using a 10-day Revision Letter template requesting the additional information or documents. On the Reviews page, enter the date that any e-mail or letter is sent to an applicant.

7. The permit may be issued after an approval from all reviewers and the District Permit Engineer approves the application. Enter the permit approval date, the permit mailed date, and the initial permit expiration date into the EPMS. Additional fields to be completed are:

• Performance Bond and Payment Bond Numbers (if applicable) • Total fee (if applicable) • Name of inspector • Transportation Laboratory’s standard or estimate of hours

8. If additional information or documents were requested, enter the date on the Reviews page when additional information/documents are received. Review procedures start and are processed as in steps two (2) through six (6) above.

9. Notify the District Permit Engineer each day of applications older than 14 days and again at 45 calendar days. Permit Engineers must respond immediately to applications older than 45 days to avoid permits being granted by default.

10. Every week print a list of permits that will expire within the next 14 days and require time extensions or completion notices. Inform permit inspectors regarding permits in their area of responsibility.

11. To close a permit file, enter in the EPMS the construction completion date, inspection hours, and time expended by other Caltrans units. If needed, submit the completed “Progress Billing/Permit Closure” (form TR-0129) to the HQ Division of Accounting for billing. All fields should be filled out indicating hours and total fees/deposits and balance.

12. Create permit riders through the “Edit Permit” screen of the primary (parent) permit, and EPMS will assign a number to the rider that is associated with the parent permit. Manage any reviews required for the rider as in steps one (1) through six (6).



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202 REVIEW PROCESS The “Encroachment Permit Application Review” (form TR-0110) is used to request Caltrans functional units review an encroachment proposal. The reviewing functional unit uses the form to provide detailed comments about the proposal, record the number of expended review hours, and recommend permit approval or denial.

202.1 General Criteria for Evaluation of Encroachment Permit Applications (Rev 04/2018)

The District Permit Engineer is typically responsible for determining the appropriate review process for proposed projects submitted to the District Encroachment Permits Office based on the “Encroachment Project Processes Enhancements” policy memorandum issued on June 12, 2020 and for determining when there is a need for an agreement between the applicant and Caltrans for maintenance and/or responsibility purposes.

Submittals are reviewed to determine the impacts of the encroachment on:

• The safety of motorists, pedestrians, and workers. • Design, construction, operation, maintenance, and/or integrity of the State Highway

System. • Future and ongoing highway construction work. • Aesthetic value of the highway corridor. • The environment. • Existing drainage. • Water quality. • The risk of tort liability.

Caltrans’ policy is to cooperate with the Reclamation Board regarding submittals for encroachment permits to install underground facilities where a State Highway is on or crosses a levee under the jurisdiction of the Reclamation Board. An applicant is required to furnish proof of a Reclamation Board permit before an encroachment permit can be issued.

202.1A Conflicting Permits A permit applicant may propose work requiring the removal or relocation of conflicting improvements installed under prior encroachment permits (ex. removal or relocation of a driveway, curb, or gutter for a highway widening permit application). The applicant must arrange and pay for any such removal or relocation. The “Encroachment Permit General Provisions” (form TR-0045, General Provision number 11) require relocation of conflicting encroachments at no cost to Caltrans as a condition of the permit. Priority is given to the earlier encroachment.



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202.1B Location of Encroachment within the State Highway Right-of-Way (Rev 10/2020)

Encroachments should not create a public hazard, disrupt highway operations, affect maintenance, restrict pedestrian facilities, or interfere with future highway construction. Consideration should be given to utility placement located within right-of-way that is planned for expansion. Refer to the Highway Design Manual’s clear recovery zone concept when reviewing proposed placement of utilities.

Care must be taken to prevent encroachments that devalue State Highway right-of-way. Potential for airspace leasing within operating right-of-way, future right-of-way, or other potential operating uses of excess lands must be preserved. Permit applications describing work within non-operating right-of-way must be sent to District Right of Way for review. In some cases, District Right of Way may coordinate the encroachment request.

For activities within an easement, the easement document determines whether a permit is needed and its cost. The District Permit Engineer should consult with District Right of Way Engineering and Right of Way Utilities if there are any questions regarding permitting or charging fees.

Activities within Caltrans’ Easements: For activities within Caltrans’ easements (ex. slope or drainage easement) adjacent to the State Highway System (SHS), property owners must obtain an encroachment permit to ensure the work does not infringe on Caltrans’ easement rights.

When Caltrans has only prescriptive rights and not fee title, the applicant must obtain a permit from Caltrans and a permit (or approval) from the landowners (such as the U.S. Forest Service or the Bureau of Land Management).

Activities within Easements-Owned-by-Others on the State Highway System: For activities within easements-owned-by-others on the State Highway System, such as through prior rights or a Joint Use Agreement (JUA), applicants must obtain an encroachment permit for those activities listed in the easement documents. Applicants must include the Consent to Common Use Agreement (CCUA), JUA, and JUA number in the EPAP. If easement documents are not available, the application should be reviewed by District Right of Way Engineering and Right of Way Utilities to ensure that the proposed work is authorized under a prior property right.

The District Right of Way Engineering or Right of Way Utilities branch must determine when the encroachment permit will be stamped “For Record Purposes Only.” Encroachment permits are only stamped as “For Record Purposes Only” when all necessary work by the applicant is within the rights provided in the JUA, CCUA, or other R/W document. Additional work may be added to the same encroachment permit but is not stamped “For Record Purposes Only,” and the customary encroachment permit fee is to be charged. Examples of work that may not be included in the rights provided in a Right of Way document include expanded project limits, lane closures, or other significant disruptions to highway traffic.



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These types of encroachment permits must contain the following clause:

“It is understood that the Owner’s easement(s) within the area of common use within the highway or at a new location within the highway may be used for the purpose for which the original easement(s) was acquired subject to Permittee providing advance notification of planned work and adherence to traffic safety and highway integrity requirements as contained elsewhere in this permit.”

For both activities within Caltrans’ easement and an easement-owned-by-others, a fee exempt permit is issued if the scope of work is confined to what is allowed in the easement documents. The permit is stamped “For Record Purposes Only.” If traffic control is needed or the scope of work is outside the scope defined in the easement documents, then additional fees are charged for processing and inspection. The contractor’s double permit is also fee exempt except when the work falls outside the easement documents.

202.1C Traffic Considerations (Rev 10/2020)

GENERAL

When an encroachment permit project is within the roadway, within the clear recovery zone, or will impact traffic, the permittee must submit a Transportation Management Plan (TMP) and assumes responsibility for financing and implementing traffic control and safety features (see the TMP Guidelines). The permittee must use construction methods that minimize traffic delay. Lane and shoulder closures are limited to the hours approved by the traffic reviewer and allowed by the District Transportation Manager.

Permittee must submit a detailed work description, a list of lanes (or shoulders) that need to be closed, proposed time and duration of closure, and any applicable traffic control plans. Traffic control plans and working hours as determined by the traffic reviewer are often a sufficient TMP.

Caltrans’ Standard Plans for Traffic Control Systems may be used for daytime or nighttime closures if the plans are appropriate for the site conditions. The applicant must identify the applicable standard plan for the proposed work on the permit application for the review of the District Permit Engineer. If Caltrans’ Standard Plans are not appropriate for the site conditions, the applicant must retain services of a California Registered Engineer to develop and stamp traffic control plans that are appropriate for the specific site conditions using other Caltrans manuals such as the California MUTCD, Plans Preparation Manual, and the CADD Users Manual.

The approved traffic control plans must be made part of the encroachment permit.

TRAFFIC DELAYS AND LANE CLOSURES

Encroachment permit projects require a major Transportation Management Plan (TMP) if the anticipated traffic delay resulting from the permit operation or lane closure is 30 minutes above



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the normal recurring traffic delay or the delay threshold set by the District Traffic Manager (DTM), whichever is less.

TMPs and contingency plans for Encroachment Permit projects are developed by the permittee. Staff time for development, review, and implementation of TMPs for Encroachment Permits is charged to the permit (see Section 7.2 of the TMP Guidelines). The TMP is developed by the applicant and when implemented, it should minimize or eliminate project-related traffic delays and collisions (see TMP Guidelines and Deputy Directive DD-60, Appendix E).

When lane closures are contemplated within access-controlled right-of-way or conventional highways, a lane closure request is submitted to the District Lane Closure Review Committee (LCRC) for approval if the closure is estimated to cause additional traffic delay of more than 30 minutes or the delay threshold set by the DTM, whichever is less (see TMP Guidelines, Appendix E). While a review is not required for emergency lane closures, i.e., accidents, natural disasters, earthquakes, storm damage, hazardous material spills, vehicular accidents, etc., nevertheless, DTM notification is still required.

The District Permit Engineer or designee submits the proposed lane closure through the District Traffic Manager for review before sending it on to the District LCRC. If the DTM can reduce the delay to less than 30 minutes, then the District LCRC review is not necessary. The submittal to the DTM should contain information listed in the TMP Guidelines shown in Appendix E. Transportation Management Centers (TMC) in metropolitan areas must be notified at least seven (7) days in advance of any planned lane closures.

In addition to the lane closure submittal, the applicant should develop a contingency plan that identifies actions to be taken to restore or minimize effects on traffic during lane closure operations when the congestion or delay exceeds original estimates. The Contingency Plan should contain information shown in the TMP Guidelines.

Approval of Lane Closures

Proposed lane closures must be approved by the DTM before initiating the closure. Refer to the “Encroachment Permit General Provisions” (form TR-0045) and Caltrans’ Standard Specifications for specific instructions on the approval process and timelines.

The District Permit Engineer is responsible for notifying the DTM if there are changes to the originally approved closure request. The DTM must review approved lane closure plans three (3) days before the date and time of the proposed lane closure operation. If in the DTM’s opinion the changes materially alter the nature of the original proposal, the LCRC will reevaluate the revised proposal.

Evaluation Statement of Lane Closures

The District Permit Engineer must prepare a statement on projects that exceed expected delay or run outside of the closure window. The statement must be prepared within



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five (5) working days of exceeding the threshold criteria (for statement explanation see the TMP Guidelines shown in Appendix E).

Exceptions for Lane Closures

Unless the traffic delay threshold is exceeded, LCRC approval is not required.

MOBILE WORK

Encroachment activities for mobile work (slow continuous motions and/or frequent stops within a traffic lane) must comply with Caltrans’ Standard Plans and Specifications. The activities are:

• Moving operations (work activities, such as striping, sweeping, etc.) that move along the road without stopping, usually at slow speeds.

• Short-term work activities that can be performed during light traffic volumes, do not interfere with traffic, and does not jeopardize anyone’s safety. Examples of such work include pavement patching, pavement marker replacement, etc.

Several references are made on the Standard Plans to “approach speed,” which could be a posted speed limit, an off-peak 85th-percentile speed, or an estimated speed determined by driving through the job site several times. Many areas are not posted, therefore this reference is intended to allow judgment in applying the realistic speed of traffic where necessary to determine traffic control devices and requirements.

202.1D Traffic Control System Plan Changes Requests to revise, alter, or use different traffic control plans than originally approved should be directed to the District Traffic Engineer for approval. Caltrans’ Standard Plans cannot be revised for individual projects.

202.1E Traffic Unit Review The appropriate District Traffic unit must review permit applications having traffic or safety impacts, when required by other portions of this manual or if the Permit Engineer determines that such a review is necessary. Procedures and responsibilities detailed in a TMP are addressed during encroachment permit review by District Traffic staff.

202.1F Field Review before Issuing Permit Pre-inspection of the site sometimes is necessary to ensure that the proposed work is not detrimental to the State Highway or the safety of highway users. The Permit Engineer should ensure that the proper personnel are involved in this pre-inspection.

202.1G Other Reviews Proposals for encroachments may require review by other units. Such reviews ensure coordination with subsequent maintenance operations and planned future development by Caltrans or others.



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A permit cannot be issued without environmental clearance. Chapter 400 discusses specific requirements for environmental review of encroachment permit applications.

202.1H Lane Closure System (New 10/2020) Lane closures on the State Highway System are made available to the public via the internet through applications such as Caltrans’ QuickMap. It is important that the information provided to the public be accurate and current.

With an authorized lane closure request, the permittee or their contractor must use the LCS or the LCS Mobile application to update the status of the lane closure at the time of closure. For more information on submitting a lane closure request and how to update a lane closure status, see Caltrans’ Standard Specifications. The permittee or the permittee’s contractor must contact the Caltrans representative at least seven (7) days prior to the closure if the permittee or the permittee’s contractor is unable to perform this task.

The internet addresses for LCS training and the mobile LCS application are available through the District Permit Engineer or Caltrans’ representative. Within five (5) business days after completing the training, trained representatives will receive an LCS account and a user identification. Each representative must maintain a unique password and current user information in the LCS.

202.2 Approval Document (Rev 10/2020) A Project Report, a Design Engineering Evaluation Report (DEER), or a “Permit Engineering Evaluation Report” (PEER) (form TR-0112) is required for every action that has a permanent traffic impact and for work that affects the operating capability of a State Highway facility.

The preparation of the Approval Document is discussed fully in the Project Development Procedures Manual (PDPM). The preparation of the PEER is the responsibility of Project Delivery or Traffic Operations.

However, on all projects managed through the Encroachment Permits Office Process (EPOP) the District Encroachment Permits Office must verify that the responsible reviewing units have considered the need for the appropriate approval document and the reviewing units have correctly completed the “Encroachment Permit Application Review” (form TR-0110).

202.2A Projects Requiring a Permit Engineering Evaluation Report (PEER)

A “Permit Engineering Evaluation Report” (PEER) (form TR-0112) is prepared to document the engineering analysis of proposed encroachment permit work. The proponent of the project is responsible for the submittal of the detailed project description/proposal section of the PEER as well as all other necessary documentation required for a complete analysis of the proposal.

Approval of the PEER is the responsibility of either Project Delivery or Traffic Operations. The analysis includes review of the proposed work to determine safety, drainage, maintenance,



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operational, and environmental impacts to the State Highway System. All proposed work must conform to Caltrans’ current standards and practices or be justified by an approved exception.

On proposals that cannot be adequately described in a PEER, the District may require that a combined Project Study Report/Project Report (PSR/PR) formator a PR format be utilized in lieu of the PEER format. The District Director or the delegated representative is responsible for approving the PEER.

Projects which are financed with local sales taxes require a PEER or a combined PSR/PR to serve as the PSR (Project Study Report or Project Initiation Document); this is required by California Government Code sections 14526, 14527, and 14529. If there is a Master Cooperative Agreement with a Sales Tax Measure Authority, an additional Cooperative Agreement may not be required.

Permit applications for projects requiring a PEER must comply with Table 2.4.

Table 2.4 Permit Procedures for Projects Requiring a PEER

These permit procedures are followed for projects that require a “Permit Engineering Evaluation Report” (PEER) (form TR-0112):

1. The appropriate fee is determined, and the application is accepted as complete.

2. Engineering and technical reviews are performed; additional information is requested from the applicant if it is needed to perform the reviews. A permit may be denied based upon conclusions of the reviews.

3. A “Permit Engineering Evaluation Report” (PEER) (form TR-0112) is prepared.

4. Bonding requirements are determined.

5. Additional fees, if required, are collected.

6. An encroachment permit is issued to the applicant and distributed to other Caltrans’ units.

7. The applicant begins work authorized by the permit. Project work is inspected by Caltrans for compliance with the permit.

8. As-built plans are received, a “Progress Billing/Permit Closure” (form TR-0129) signed and dated by the District Permit Engineer or an authorized representative or the District Resident Engineer (RE) when applicable, is issued and bonds are released.

9. Records are scanned, and the project is closed out.

202.2B Projects Not Requiring a PEER Projects not requiring a PEER are usually commercial filming, miscellaneous activities, special events, surveys, and utilities. These permit applications involve the same steps as outlined in Table 2.4 with the omission of Step 3.



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202.3 Quality Management Assessment Process (Previously “Oversight Projects”) Please refer to “Encroachment Project Processes Enhancements” memorandum issued on June 12, 2020 until detailed guidance is incorporated into this manual.

For projects involving structures, the Office of Special Funded Projects (OSFP) Information and Procedures Guide gives detailed guidance for developing QMAP Projects constructed on the State Highway System. It is available at:

https://dot.ca.gov/programs/engineering-services/special-funded-projects-and-local-assistance

202.3A Cooperative and Highway Improvement Agreements (Rev 10/2020)

A cooperative agreement is a formal contract between Caltrans and a city, county, or other public agency such as a transportation authority (collectively local public agencies) through which the parties to the agreement outline their high-level responsibilities regarding an improvement on the State Highway System (SHS), including identification of: project component(s), sponsor (project advocate and securer of financial resources), implementing agency (responsible for the performance of work), and funding commitments.

A cooperative agreement is required when Caltrans and any other local public agency will exchange effort, funding, materials, or any combination thereof. It requires the local public agency to adhere to the standards, policies, and procedures (or have an approved exception) that Caltrans would normally follow when it plans, designs, and constructs projects on the State Highway System. A cooperative agreement will not commit Caltrans to any arrangement that it does not have legal authority to pursue or the financial capacity to fund.

The Project Manager is the individual responsible for developing and executing cooperative agreements.

Similarly, a Highway Improvement Agreement (HIA) is executed between Caltrans and a private entity. HIAs are used as a last resort. Working with a local public agency is generally preferable to a private entity. When dealing with a private entity, it is best to have the local public agency represent the private entity and Caltrans will enter into a standard project development agreement with the local public agency. Occasionally the local public agency is not willing to represent the private entity, in which case Caltrans may decide to enter into an HIA with a private entity.

An HIA is a project development agreement with a private entity when the project is managed through the project delivery Quality Management Assessment Process (QMAP). Because there is no legal authority for Caltrans to perform project development and construction work for private projects, the private entity is required to perform all work and provide all funding. The private entity must fully reimburse Caltrans for all QMA performed by or on behalf of Caltrans in connection with an HIA.

https://dot.ca.gov/programs/engineering-services/special-funded-projects-and-local-assistance



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For additional information, please see the Cooperative Agreement Handbook available on the Office of Delivery Improvement & Agreements intranet site.

202.3B Issuing Encroachment Permits for QMAP Projects (Rev 10/2020)

Encroachment permits must not be issued for QMAP Projects without the District Encroachment Permits Office receiving a copy of the required, fully executed agreement. The agreement will specify whether or not there will be a charge to the local public agency and/or its contractors, consultants, and agents for their respective encroachment permits.

An “Encroachment Permit Administrative Route Slip” (form TR-0154) is used by the Project Manager to request from the District Permit Engineer the issuance of an encroachment permit. The form certifies that the project has been reviewed and approved and does not require any further coordination. The permit usually can be processed and issued shortly after the District Encroachment Permits Office receives a complete application package including approved plans and a copy of the fully executed agreement for construction.

202.3C Public Transit Projects (Rev 10/2020) Appropriate project review process for public transit projects financed by others (other than by the State) and located within existing or future State Highway right-of-way must be identified using the criteria established in “Encroachment Project Processes Enhancements” memorandum issued on June 12, 2020.

A copy of the fully executed cooperative agreement and approved plans must be delivered to the District Encroachment Permits Office before encroachment permits can be issued to the transit agency and its contractors, consultants and agents for construction work within State Highway right-of-way.

202.3D Project Development Procedures Caltrans may be exposed to operational and maintenance responsibilities, and to tort liability, by any expansion or improvement of State Highways using local resources. Therefore, projects that must follow the project development process as identified using the criteria established in the “Encroachment Project Processes Enhancements” memorandum issued on June 12, 2020, must comply with the Project Development Procedures Manual (PDPM), and the Environmental Handbook (EH). The permit applicant is required to use the project development procedures that Caltrans uses to do the same work. These include the project development teams, project reports, and project development categories described in the PDPM.

All State Highway improvement projects funded entirely by others and follow the project development process must be approved in concept by a Project Study Report (PSR) and approved in a Project Report following environmental compliance and public input. Caltrans is normally responsible for the PSR if it can be done on a schedule Caltrans is able to meet, and the local agency or private developer is responsible for preparing the Project Report (except for



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Sales Tax Measure Projects). This requirement can create special timing problems for applicants and should be pointed out during initial discussions.

An abbreviated process utilizing a combined PSR/PR format or the DEER is available for projects meeting certain criteria, which enable a local public agency or developer to prepare a combined document on their own schedule and at their own expense in lieu of the PSR and the PR.

202.4 Traffic Controller Assemblies Caltrans provides Traffic Signal Controller Assemblies for installation on all State Highway projects involving signal systems. Caltrans is reimbursed for the controller assembly acquisition, quality assurance testing, and delivery. The method of reimbursement to Caltrans depends upon the type of recipient and contractual relationship. Controller allocation criteria are described as follows:

JOINTLY FUNDED COOPERATIVE AGREEMENT PROJECTS:

Caltrans provides Traffic Signal Controller Assembly as a contribution to its share of the project cost.

LOCALLY FUNDED AND SALES TAX MEASURE COOPERATIVE AGREEMENT PROJECTS

The funding local public agency pays the full cost of the controller assembly. If Caltrans is administering the construction contract, the controllers will be provided as Department-Furnished Material paid for by the local public agency as part of the project costs.

PRIVATELY FUNDED HIGHWAY IMPROVEMENT AGREEMENT PROJECTS

Caltrans provides the controller assembly as a Department-Furnished Material paid for by the permittee as part of the project cost.

ENCROACHMENT PERMIT WITHOUT AN AGREEMENT

When an agreement for the project does not exist and construction is authorized only under an encroachment permit, the private party permittee or permitted local public agency’s contractor must pay for the controller assembly and for the related field work and inspections. These costs are collected from the permittee or contractor as a Department-Furnished Material fee and added to the deposit collected for other estimated inspection field work costs.

Additional information on Department-Furnished Traffic Controller assemblies is shown in Appendices E and K. For component prices, please see the “Electrical Equipment Price List” available on the Division of Traffic Operations’ intranet site.



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202.5 Registered Engineer’s Seal and Signature (Rev 10/2020) The California Business and Professions Code (see Appendix E, Professional Engineers Act) requires that all final engineering plans, calculations, specifications, and reports shall bear the signature and seal or stamp of the licensed engineer, and the date of signing and sealing or stamping.

The California Business and Professions Code was amended by Assembly Bill 645 in 2009, which deleted but does not prohibit the requirement to include the license expiration date on engineering plans, calculations, specifications, and reports. Caltrans considered the impending changes and determined that the business practice of including the expiration date is consistent with its quality management policies and its desire to perpetuate only the highest quality engineering and surveying documents (see Appendix E, Memorandum from Malcolm Dougherty). All final engineering plans, calculations, specifications, and reports shall bear the signature and seal or stamp of the licensee, the date of signing and sealing or stamping as required by California Business and Professions Code section 6735, and the license expiration date.

For plans with multiple sheets that contain civil engineering elements such as trench plate design, excavation shoring, traffic control plans related to lane closures, etc., each sheet shall bear the signature and seal or stamp of the licensee, the date of signing and sealing or stamping and the license expiration date of the licensee responsible for the preparation of those elements. For engineering reports, the same information as required on plans must appear at a minimum on the title sheet, cover sheet, or signature sheet.

Environmental documents are not professional engineering documents and therefore do not require preparation by a California Registered Engineer.

202.5A Registered Engineer’s Seal and Signature on Utility Plan Sheets (Rev 10/2020)

For utility companies under the jurisdiction of the California Public Utilities Commission (CPUC), utility plan sheets prepared for their products, systems, or services do not require the signature and seal or stamp of a California Registered Engineer (Business and Professions Code 6747).

However, all traffic-related plans and civil (including structural and geotechnical) engineering plans, calculations, specifications, and reports are not considered utility plan sheets and therefore must bear the signature and seal or stamp of the licensee, the date of signing and sealing or stamping, and the license expiration date of the California Registered Engineer responsible for their preparation per the California Business and Professions Code.

When Caltrans issues a permit for the installation of a public utility, it does not inspect the design nor installation for compliance with CPUC and industry standards. Compliance with CPUC and industry standards is the responsibility of the public utility.



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202.5B Contractor’s License (New 10/2020) All prime contractors, subcontractors, and specialty contractors must be properly licensed by the California Contractors State License Board with a classification appropriate for the work to be performed.

202.6 Materials Testing Materials testing is performed by the Division of Engineering Services, Office of Materials Engineering and Testing Services (METS) commonly referred to as the Transportation Laboratory or Trans Lab.

Testing is required for manufactured or fabricated materials delivered to a work site if Caltrans will own it upon completion of the work. However, in some cases, the Permit Engineer may determine that very small quantities of materials, although not previously tested by the Transportation Laboratory, are acceptable for installation when they are delivered with a Certificate of Compliance.

The Transportation Laboratory contacts the District Encroachment Permits Office to verify materials when materials inspection is requested by the permittee and the Transportation Laboratory does not receive a “Notice of Materials to be used” (CEM-3101). If District contact is unsuccessful, the Transportation Laboratory may verify materials using permit documents and plans before performing inspection and release.

In all cases, a completed “Report of Inspection of Materials” (form TL-0029) is transmitted from the Transportation Laboratory to the District Encroachment Permits Office. Contact the Transportation Laboratory in your area to verify hours of inspection.

Procedures for materials testing are described in Table 2.5.

Table 2.5 Procedures for Materials Testing

These procedures should be followed for testing materials to be used in work authorized within State Highway right-of-way:

1. Permit Engineers and reviewing units evaluating applications must determine if fabricated materials require inspection by Caltrans’ Transportation Laboratory. The Transportation Laboratory unit is required to inspect all electrical components of signals, State-owned lighting, metal poles, mast arms, foundation bolts, and signs. A complete list of items is found at:

http://www.dot.ca.gov/hq/esc/Translab/OSM/smb.htm

2. If inspection by the Transportation Laboratory is required, include this statement in the text of the permit: “Your attention is directed to Section 6 of the State Standard Specifications, reference to Engineer in the State Standard Specifications shall include State Representative.”

http://www.dot.ca.gov/hq/esc/Translab/OSM/smb.htm



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3. If inspection by the Transportation Laboratory is required, send one permit copy (including plans and special provisions) to the Transportation Laboratory.

4. When the “Notice of Materials to be Used” (form CEM-3101) is received from the permittee, the Caltrans representative should review, sign, date, and forward the form to